Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint....
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Brion Harris: Oil & Gas Complaint Against Premiere Planning Advisor
Annapolis financial advisor Brion Harris (CRD# 3199095) has received an investor complaint alleging he made unsuitable investment recommendations that resulted in losses. Financial Industry Regulatory Authority Records show that the Premier Planning Group representative is registered as a broker and an investment advisor with Cetera Advisor Networks.
Dustin Perkins: Legacy Investment Advisor Accused of Negligence
Franklin, Tennessee financial advisor Dustin Perkins (CRD# 6583368) recently received an investor complaint alleging negligence and other forms of misconduct. Financial Industry Regulatory Authority records show that he is a representative of Legacy Investment Planning and is registered with SA Stone Wealth Management as a broker and an investment advisor.
Jason Kunz: $200K Investor Complaint Against Phoenix Advisor
Raymond James Financial Services advisor Jason Kunz (CRD# 4565340) allegedly made unauthorized trades, according to a recent investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Phoenix, Arizona.
Matthew Shapiro: $422K Complaint Against Woodbury Financial Advisor
Platform Technology Partners advisor Matthew Shapiro (CRD# 5561680) recently received an investor complaint alleging his advice resulted in six-figure losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Sanford C. Bernstein & Company broker is currently based as an investment advisor in Woodbury, New York.
Michaela Tarpenyans: Westlake Village Advisor Has $100K Complaint
Western International Securities advisor Michaela Tarpenyans (CRD# 5399032) has received an investor complaint alleging her investment advice resulted in losses. Financial Industry Regulatory Authority records show that she is a broker and investment advisor based in Westlake Village, California.
Christopher Ortiz: Ex-National Securities Advisor Has 350K Complaint
Christopher Ortiz (CRD# 2858626), a financial advisor based in Melville, New York, has received an investor complaint alleging his recommendations led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Arete Wealth, having previously been registered with National Securities Corporation.
Steve Netzel: $425K Complaint Against Former Kalos Advisor
Sun Lakes, Arizona advisor Steve Nitzel (CRD# 2863170) has received multiple investor complaints alleging he misrepresented and recommended unsuitable investments. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is an investment advisor with Val Vista Capital Management. While he is not currently registered as a broker, his recent registrations… Read More »
Dana Davis: $50K-$100K GPB Complaint Against Boca Raton Advisor
Newbridge Securities advisor Dana Davis (CRD# 1707708) recently received an investor complaint alleging he misrepresented and recommended unsuitable investments in GPB Capital. Financial Industry Regulatory Authority records show that he is a broker based in Boca Raton, Florida.
Investor Files Complaint Against Hackensack Advisor Daniel Mackle
Recent investor complaints against former Garden State Securities advisor Daniel Mackle (CRD# 2239531) allege that his investment advice resulted in more than $2 million in cumulative damages. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor in Hackensack, New Jersey.
Eric Christensen: UBS Advisor Received $597K Theft Complaint
A recent investor complaint against Stuart, Florida financial advisor Eric Christensen (CRD# 4719720) alleged he engaged in criminal theft that resulted in more than $500,000 in damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with UBS Financial Services, and that he has received several other investor complaints.
